Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Dennis Lynch (Claimant) vs. First Providence Financial Group, LLC, Brookstreet Securities Corporation, John M. Meyers. Stephen P. Washburn, Deborah A. Scott. Kathleen M. McPherson. Mark A. Atchity, Scott S. Brooks, Stanley C. Brooks, Julie B, Mains, The Brooks Family Trust, H. Thomas Fehn, K. Michael Garrett, Steve Skytte, Russell Robert Riccobono, Jr.. David M. Levy, Scott Lee Magallanes.

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Daniel Bach, Carol Bach, Olga Bach & Daniel Bach, Daniel Bach custodian for Marisa Serefina, Jonathan Bach, Eric Bach & Daniel Bach, Daniel Bach IRA, Steven Bach, Laura Bach & Daniel Bach (Claimants) vs. Continental Broker-Dealer Corp., Gregory Mumtaz Hasho, Thomas Tieman, Mark Goetz, Dominick Bianco, Thomas Paul Francis, Lawrence Balzano, Darren Deluca, Kenneth Rodgers, Joseph Podelsky, Ad

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number. 09-01632 The Morgan Hungerfofd Trust U/A D TD 03/06/99, by its Trustee, Robert M. Hungerfbrd and The Courtney Hungerford Trust U/A DTD 03/06/99, by its Tnistee. Robert M. Hungerfbrd Name of the Respondent Hearina Site: Richmond, VA Johnston, Lemon & Co., Inc. Nature of the Dispute: Customer vs. Member. REPRESEflTATION OF PA

Award FINRA Dteputo Resolution In the Matter of the Ari>itration Between: Names of the Cjaiinante C|Bq Nijfnt^gr, 09^067 Cleveland J. Foret Joan Foret Names of the Respondente Hearing Site: New Orieans. Louisiana Legg Mason Wood Walker, Ina Sterne, Agee & Leach, Inc. Natore of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Cleveland J. Foret and Joan Foret. hereinafter collectively referred to as "Ciaimante": James F.

Award FINRA Dispute Resolution in the Matter of the Art)itration Between: Name of the Claimant Case Number 09-03843 Citigroup Global Maricete inc.. fonneriy known as Salomon Smith Bamey inc. Name of the Respondent Hearina Site: Los Angeles. Califomia Desires H. Lu Nature of the Dispute: Memt)er vs. Associated Person REPRESENTATION OF PARTIES Claimant Citigroup Global Maricete Inc.. fonneriy known as Salomon Smith Bamey inc., hereinafter refen

AMrard FINRA Dispute ReaoMton In the Matter of the Arb'rtratton Between: Name of the Ciaimante Tracy Rae Turner Bradley Dennis McCord Case Number 09-03896 Name of the Respondent CapWest Securities. Inc. Hearing Site: San Diego, California Name of Counter-Claimant CapWest Securities, Inc. Name of the Counter-Resoondente Tracy Rae Turner Bradley Dennis McCord Nature of the Dispute: Associated Persons vs. Memt)er Memk>er vs. Asso

Award FINRA Dispute Resolution In the Matter of the Arbitratton Bebiveen: Claimant Case Number: 09-03604 Wachovia Securities Financial Network, LLC Respondent Hearing Site: Las Vegas, Nevada Jamie Lydeli Dicl( Natore of the Dispute: Member vs. Associated Pereon REPRESENTATION OF PARTIES Claimant, Wachovia Securities Financial Networic, LLC, hereinafter referred to as "Claimant": Gregory Tendrich, Esq., Gregory Tendrich, P.A., Boca Raton, Flor

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant Case Number 09-01604 Janice C. Duffeic Resoondente Hearina Site: Los Angeles, Calrfomia MacArthur Strategies, inc. Stephen Francis Morton Nature of the Dispute: Customer vs. Member and Associated Pereon REPRESENTATION OF PARTIES Claimant, Janice C. DufFeic, hereinafter refened to as "Claimant": Janice C. Duffek, in Pre Se, Newport Beach. Califomia. Respo

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Name of tiie Ciaimante: Case Number 09-01140 Corrine Nesting. Trustee. Kenneth and Eleanor Nesting Living Tmst U/A DTD 10/10/2007 Name of tiie Resoondente: Hearing Site: Portland. Oregon Morgan Stenley & Co., Inc. Steven N. Pedersen Steven P. McShanv Nature of the Dispute: Customer vs. Member and Assocteted Persons REPRESENTATION OF PARTIES Claimant. Corrine Nes

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of the Ciaimante Case Number 08-00479 Grand Avenue Capitel Partnere, LLC Grand Avenue Capitel, LLC Name of the Resoondente Hearing Site: Los Angeles, Califomia Etech Securities, Ina Nicic Jay Liang Name of the Counter-Claimant Etech Securities, Inc. Name of the Counter-Resoondente Grand Avenue Capital, LLC Grand Avenue Capitel Partnere, LLC Name of t